Cheryl H. Johnson - 08 Feb 2022 Form 4 Insider Report for CATERPILLAR INC (CAT)

Role
Chief Human Resources Officer
Signature
/s/ Barbara Thomas, POA for Cheryl H. Johnson
Issuer symbol
CAT
Transactions as of
08 Feb 2022
Net transactions value
-$599,499
Form type
4
Filing time
10 Feb 2022, 12:41:44 UTC
Previous filing
10 Jan 2022
Next filing
08 Mar 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAT Common Stock Award $0 +7,371 +45% $0.000000 23,639 08 Feb 2022 Direct F1
transaction CAT Common Stock Tax liability $599,499 -2,986 -13% $200.77 20,653 08 Feb 2022 Direct F2
holding CAT Common Stock 165 08 Feb 2022 Held by 401(k) Plan F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Includes adjustments for dividends accrued.
F2 Represents shares withheld from the reporting person to satisfy tax obligations arising from the vesting of performance-based restricted stock units granted on March 4, 2019.
F3 The information in this report is based on a 401(k) plan statement dated as of January 31, 2022.